The Toronto-based firm's new offering uses ESG data from MSCI to provide ratings, scores and various metrics for funds, portfolios and individual stocks.
Almost half the financial advisors hired by First Republic since 2010 came from Wells Fargo Advisors, J.P. Morgan Securities, UBS Financial Services and Morgan Stanley.
A coalition of women's groups has opened a new apprenticeship program to draw Native American women into asset management, private equity and venture capital.
The organization urges viewers to hire a CFP — 'It's gotta be a CFP' — in its most direct appeal since the public awareness campaign launched more than a decade ago.
The truth — which long-time advisors know all too well — is that prudent risk management is rarely a crowd-pleaser before a crisis hits.
Some advisors experience organic growth even amid challenging markets, realizing that a downturn is a great time to sow seeds for future growth.
State regulators cite brokers' outside business activities and 'off-channel communications' as two areas that can't be overseen from afar.
Research from Advisor Growth Strategies sees smaller firms facing increased pressure to grow or specialize to meeting rising client expectations.
The deal for Baton Rouge-based Shobe Financial Group was driven by succession planning considerations.
The SEC's amendment to rule 17a-4 represents a tremendous opportunity to bring firms' record-keeping systems into the 21st century.
About 90% of households don't use financial planners, but offering fee-based services could help win them over, the firm says.
Rivent Partners has carved a niche at the intersection of affluence and social programs.
'It doesn’t require literally a bible or book of every single claim made in any ad ever to be retained forever,' Thoreau Bartmann, an SEC counsel, told an Investment Adviser Association conference in Washington.
The firm says it has sufficient liquidity to handle any volatility and that more than 80% of deposits are insured by the FDIC.
If you’re not paying close attention to ensure that your clients’ cash is safe, you’re ignoring your fiduciary duty.
Women are making headway with their personal financial goals, and they prefer talking with other women about money, a new Fidelity survey shows.
The SEC doesn’t care whether advisors or staff are banned from using apps or tools. What’s important to them is that firms fulfill their capture and retention responsibilities.
See how much brokers earn on sales of various products at 43 independent broker-dealers, according to data the firms provided to InvestmentNews Research.
Maria Lettini will take the helm of the influential group as sustainable investing has become a political rallying cry for some state leaders.
Financial advisors should pay attention to regulators' concerns, since it's often advisors or firm executives who don't follow industry rules to the letter who may be discharged.
